Mitch Avnet Featured In Compliance Week
Amid a tough climate of regulatory enforcement and an explosion of new rules after the financial crisis, many large companies—especially financial institutions—have beefed up their staffing on ...
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Mitch Avnet To Speak At Cleveland Compliance Officer Network Event
C-CON Cleveland - Compliance Officer Network Location: McDonald Hopkins LLC, 600 Superior Ave, Cleveland, Oh 44114Date: Tuesday August 4, 2015Time: 3:30 pmCPE Credit: 1 Credit Program Agenda: ...
Sterling FinServ Summit: Mitch Avnet Joins Fireside Chat with Former FINRA Chief of Enforcement, J. Bradley Bennett
Sterling Talent Solutions and Compliance Risk Concepts invite you to join us on Wednesday, June 13th for the Sterling Financial Services Summit: Human Capital and Compliance - Bridging the Gap. ...
Mitch Avnet Discusses the Evolution of Communication with DDW
Due Diligence Works, Inc. (DDW) sat down with Mitch Avnet, Founder and Managing Director of Compliance Risk Concepts, to discuss the evolution of communication, particularly as it relates to ...
The Impact of Reg BI with Mitch Avnet: CEO and Managing Partner of Compliance Risk Concepts.
On June 5, 2019 the Securities and Exchange Commission (“SEC”) voted to enhance the regulatory framework standard of conduct for broker-dealers (or “firms”) and provide an interpretation of the ...
10-Year Anniversary Letter From Mitch Avnet
To All our Amazing Clients: No matter how you measure it, we want to express our profound gratitude as we mark our 10th Anniversary. Without your support throughout this transformative ...